The WSJ 's Public Service on Fiduciary Standard: Lifing the Veil
The five arguments made by Journal editors that they got partly wrong, wrong and confused and just plain wrong.
Raymond James Adds 6 From LPL; Wells Fargo Grabs 5 From Morgan Stanley
Meanwhile, Merrill Lynch recruits a UBS team as wirehouse retention deals expire.
‘RIA-ization’ Transforming Advisor Industry
Advisors have lots to consider when using a corporate RIA or starting their own, says a panel at FSI OneVoice 2015.
Raymond James Reworks Employee Channel Leadership
The shifts are announced ahead of its Women’s Symposium and investment advisor confab.
Merrill’s New Training Could Put Advisors in ‘Sticky’ Situation
The program is intended to help advisors with succession, but it could make it harder for advisors and clients to leave, Mark Elzweig says.
Raymond James' Execs Share Aims at Confab
Raymond James defines itself by its conservative approach to the financial-advice business, and its executives stressed this point when discussing possible acquisitions during the independent channel's national conference held recently in Washington, D.C. When it comes to the advisor space, “We do not want to make transformative acquisitions,” explained CEO...
Raymond James, the New Borders Bookstore?
Fiduciary advocates need to reframe the battle: think "disruptive innovation," as has happened to book publishing and is happening to BDs.
The 2014 Broker-Dealer Reference Guide
Some observers of the independent broker-dealer universe might be tempted to explain its current state by counting the acquisitions that Nicholas Schorsch's Realty Capital has made over the past year.
The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.
If You Go Indie, Will Clients Follow? The Great Leap of Faith
Going independent requires not just careful cost-benefit analysis but also a focus on your clients’ confidence—and your own.